LIBRARY OF THE MASSACHUSETTS INSTITUTE OF TECHNOLOGY mm 24 Research Program on the Management of Science and Technology TECHNOLOGY TRANSFER TO DEVELOPING COUNTRIES: THE INTERNATIONAL TECHNOLOGICAL GATEKEEPER f^J.^ Allen, J.M. Piepmeier, and S. Cooney ^67-70 June 1970 MASSACHUSETTS ...QTE OF TECHNOLOGY 50 MEMORIAL DRIVE IDGE, MASSACHUSETTS 1S"0 i MASS. iNST.licnl I 'JUL 20 1970 DEWEY LIBRARY ^ Research Program on the Manaqement of Science and Technology TECHNOLOGY TRANSFER TO DEVELOPING COUNTRIES: THE INTERNATIONAL TECHNOLOGICAL GATEKEEPER T^J/ Allen, J.M. Piepneier, and S. Cooney June 1970 #467-70 The research was supported by An Foras Taluntais the Irish Agricultural Raymond N. Seal'.an provided assistance in the data analysis. Institute. The authors gratefully acknowledge the cooperation of the manaqerm nt and employees of An Foras Taldntais. , | RFCFIVED AUG 241970 M. 1. I. L-ldSKAKItS ABSTRACT A questionnaire was developed and administered to tho research personnel of An Foras Toluntais , the Irish agricultural research and development organization, to study the operation of corrimuni cat ions channels for the international transfer of technological infcrnation. The techniques employed are consistent with those used in previous studies of the purely domestic flow of technological information into American research and development aboratoriesI Results of the study show that the international transfer, like domestic transfer, takes place in a two-stt^p process operating through certain intermediary agents called technological gatekeepers, These technological gatekeepers must be well integrated into two information networks, an external network of information sources and an internal network of users to whom the information can be delivered. Possible strategies for gatekeeper development are discussed. THE PROBLEM OF INTERNATIONAL TRANSFER OF TECHNOLOGY A great deal of attention has been devoted during the past decade both to the problems of economic development and to the implications of the so called "information explosion" in science and technology. Far less consideration, however, has been given specifically to the point at which these two areas intersect. The problem posed by this intersection can be stated quite simply. A massive body of technical information exists in the world which, theoretically, the developinq country should be able to tap and apply in its development programs. The developing country must select and apply this technology efficiently, however, in order to reap the greatest Cut technology continues to multiply and accumulate benefits from it. at such a rapid p?ce that it Is extremely difficult to keep track of it. How then does tho scientist or engineer working in a developing country with modest resources isolate and identify those pieces of vast reservoir of the world's accumulated technical are relevant to his cur'-ent work? How, -fr.e knowledge that indeed, can he even discover whether his particular problem has already been solved by researcher in another country? efficiently if Surely limited R&D budgets can be applied more existing solutions to current technical problems and new advances in research techniques can be communicated to these abroad who need them, rather than having to "discover" them over and over again In each separate country. Of course, as many authors have already pointed out, all from this malady in a small — P*.D suffers however the symptoms are likely to be much more acute country with limited resources. duplication of research. Such a country can ill afford -2- The question to be addressed, therefore, thf- is — hov/ do v/c improve information from research groups one country and deliver it to research groups in another (particularly in a cornmuni cations channels that carry developing) country? A prerequisite for answering such a question must be a good understanding of the ways in which scientific and technological information flows between countries. An understanding of the way in which the existing system functions can oft.jn, by itself, suggest directions for irprovement, and will errors in lessen the likelihood of costly policy formation or system design. THE PROBLEM OF I NTER-ORGANIZATIOIJAL TRANSFER OF TECHNOLOGY Before turning directly to an examination of channels used in international technology transfer, it will be useful to look first at an anal- ogous situation. The large, technology-based firm faces a problem very similar tc that confronted by the small country. can be technologically self-sufficient. No single organization There will always be relevant technology to be inported into the organization. The means by which large American corporations accomplish this feat has been the subject for much research in recent years. (I) Most attempts at bringing new technology into the firm have assumed a straightforward model of information flow. interface between technical personnel environment is a in According to this model, the the firm and the external technical Each and every member of the simple and direct one. organization accomplishes this interface in exactly the same way. reads the literature and talks with people outside of the firm. He both To promote technology transfer under the terms of this model, all one must do is increase the degree and ease of contact between organization members and the tv/o external Information sources. Although in theory, this is very simple. In practice it often becomes very costly and Is frequently In- effective. Research now shows that neither of these sources has been successful in providing information to the average industrial scientist or engineer. The literature is ineffective because It is not used (2). The average engineer makes very little use of his literature, particularly that contained more, do professional engineering and scientific journals. in Further- Increasing the quantity of literature to which he is exposed will little to alleviate this situation, since he already feels swamped by written material Direct contact with people outside of the organization is ineffective for different reasons. Such contact occurs quite a lot, but studies have shown a consistent negative correlation between the use of this There are many reasons information source and the user's performance (3). for this. Suffice It to say at this point that the channel is a "noisy" one, subject to misinterpretation, and is, therefore, an ineffective medium for technology transfer (4). There is only one information source, in of these studies, whose all use has consistently shown a positive correlation with technical per- formance. It lies not outside the firm, but within. A colleague of the Information seeker within his own organization proves to be the most effective direct source of information. This, however, begs the question of transferring Information into the firm, and it isn't until one steps back and looks more carefully at the internal consultant that the most effective connection to the outside world appears. Those who were highly chosen as internal consultants also, on the average, made significantly greater use of the professional and scientific journals and maintained on going informal contact with many colleagues in other organ! zations. -4- particularly university and non-profit laboratories (5). They, thus serve as intermediaries between the average member of the firm and external sources of information. the name "technological For this reason, they have been given gatekeeper". The technological gatekeeper receives information from a wide variety of sources external to the laboratory and, source for his colleagues in in the laboratory. turn, acts as an information Such a two-step flow seems to be significantly more effective in transferring technology than a simple direct connection from source to receiver. Gatekeepers, in at least some organizations, exist not as solitary intermediaries, but have actually developed a network among themselves (6). The gatekeeper network extends considerably the range of contact between organization members and sources of information in the world at large. The two-step phenomenon has been show to play an Important role in communications over a wide spectrum of human effort including: the adoption of hybrid seed corn by farmers (7); the prescribing of new drugs by doctors (8); and the spread of political opinions among the electorate (9). process is It important is in not surprising therefore that the same two-step technology transfer into R&D labs. For some time now it has seemed possible to extend the methods used in the study of American R&D laboratories to the problem of the small nation. As a first step in this direction, an empirical analysis has been made of the way in which foreign agricultural information is acquired, by one small country, and then disseminated among its agricultural scientists. This study hypothesizes that communications channels for the international transfer of technical information will also demonstrate a two-step flow process and that "international technological gatekeepers" can be isolated and identified as key intermediaries through which ""] -5- information from abroad is channelled and distributed. To facilitate comparison, the methods used to identify international gatekeepers are tailored on the pattern of previous studies of American laboratories. SAMPLE DESCRIPTION The sample population comprised the native-born personnel of An Foras Tal untais (AFT - the Irish Agricultural researcti personnel including and first and second line supervisors but not tech- nicians or the Headquarters (administrative) staff. spending less than (10), Institute) 2^1> Those who reported of their tine on RiD were also removed from the sample. An Foras Taluntei s operates under a charter similar to that of many other government supported research institutes. One of its primary goals is the acquisition of information to promote agricultural as a means toward the economic and social It, therefore, acts in innovation development of the nation. one sense as a gatekeeping institution, rrediating between the Irish farmer and agricultural developments occurring both within and outside of the country. AFT is (II) divided into six divisions. Each division is further sub- divided into several departments (Glasshouse Crops and Mushrooms, Meat Each department may be spread over Research, Pig Husbandry, etc.). several geographic areas and, departments may be lumped into furthermore, sections of several separate a single research center. personnel of AFT aro overwhelmingly Irish by nationality of tht Republic of Ireland or Mcrthern Ireland). of 168 scientists contained 55 Ph.D.'? and most of The research (95?. are citizens The sample population th^. remiMninq held dearee or certification higher than the bachelors level. a l/iETHOD OF INVESTIGATION The Questionnaire A brief questionnaire containing 30 questions v;as administered to all scientists in An Foras Taluntais . In addition to the usual demographic and biographic questions, the respondents were asked to name the people both within and outside of AFT with whom they most fre- quently communicated on scientific matters, and to estimate the intensity of thoir foreign correspondence over the past year. enjoyed an 85?^ The questionnaire response. Criteria for Choosing International Gatekeepers To be an effective gatekeeper in an international sense an individual must be well integrated into two netv;orks: an external information sources end an internal network of domestic users to whom the Internal I — required information can be delivered. The ftetwork The structure of the internal by examining the responses to tite communication network can be approximated question scientific discussion partners are named. nected to those whom he names. or diagram format (Figure I). in which "most frequent" Each respondent Is thus con- This can be accomplished in either matrix This allows the ccrrputatlon o-f the number of entering branches can be used as an index of the number of people who turn to a given individual for information, or the number of people who can potentially bo reached by information held by that person. A person with a large number of entering branches is likely to be a very impor- tant source of information for his colleagues in the organization. For purposes of the present study, this person will be called a "communication star" (12). ^ neiwork of foreign Numbers 20 and 28 are communication stars in the figure. . BY CHKO. BY DATE.., DATE.. SHEET NO._ JOB NO.__ OF. Network External For a communication star to also be a technological gatekeeper he would have to be well integrated into an external information sources. choosing a discriminator to identify those who In network of foreign have established and do employ an enternal network two factors are imThe discriminator must identify: portant. (a) those who frequently and continually use the network, and (b) those whose network is broad enough to include diversity of foreign information sources. Two criteria — the frequency of foreign technical correspondence and the frequency of foreign scientific and professional are used. society attendance Each of these channels can be used frequently and each allows contact with a large number of overseas colleagues. The degree to which they are used is therefore judged to be a good measure of integration into the external network. For the concept of the "technological operative, it gatekeeper'' to be proved must be demonstrated that the communication stars described above actually do receive a greater amount of foreign information than do their colleagues. foreign technical If each Individual were to receive most of his information directly from its source (direct flow) the role of gatekeeper would be meaningless. Similarly, if the high international communicators were isolates within the country, the gate- keepers would be non-existent. be instrumental in Simply stated, a single individual must both the acquisition and dissemination of foreign information. In fact, the data show that technical discussion stars actual receive significantly more International technical ly do information than non- stars as measured by frequency of foreign correspondence and attendance BY CHKD. BY SHEET NO JOB NO DATE... DATE.. Me,/fA/ A/i/M6e/l i^P OF. r/M£S Connerp<3f^peAice w/r// /^rr^/^OAf^C£ ^7- O 8y 10 /f^TS/d^yfL '^O 3o C^AfM^/^^^^r/fi^ ^^>i«^r „ •10- at foreign scientific and professional society conferences (Figure 2). They also read a significantly greater number of foreign journals (13). The gatekeeper hypothesis is quite strongly supported. O^A^ACTERISTiCS OF THL INTERNATIONAL GATEKEEPER (14) have found that gatekeepers Recent studies in American laboratories are better educated and higher in performance than their non-gatokeeper They are, on the average, more likely to have a Ph.D. degree, colleagues. likely to be named Ly their are more frequently published, and are rnore organisations as the, most important contributors to its technical goals. The gatekeeper (15) on an international scale also displays greater technical competence th^n his non -gatekeeper colleagues. performance Technical of course, extremely difficult to measure, but to tht extent is that publication of scientific and professional papers and the acquisition of patents serves hirjh performer, as an indeed. the average, sifini 'f indicator, the international gatekeeper The technological a is gatekevjirs in AFT are, on icanl ly superior to their colleagues and patents and a higher proportion have a Ph.D. in both publications degree (Figure 3). THE DEVELOPMENT OF INTERNATIONAL GATEKEEPERS Given the existence of gatekeepers at an international their importance portant problem in nov/ level and coupling the country to foreign technology, the imbecomes how to develop people into this rclo. There are of course many possibilities, but two v/ould appear most likely. First of all, a scientist might develop contacts through foreign education and maintain these after returning home. ment desiring If this were the case, a govern- to stimulate the importation of foreign technical could do so by supporting the education of its citizens in information those countries DATE... BY CHKD. BY DATE.. SHEET ud JOB NO._ or„ /S <o, ^o/ ,^^ Pf2oressr/^//f^L *" O/f-TEf^ee/^e^^ pj£oP^M'r/aA/ w/ia Ph. D oe^fe^^e. f <o,or zr with which it hoped to promote conrnuni cation. On the other hand, a more direct attack upon the problem might be to encourage the employment of foreign nationals. in The foreigners would presumably retain contacts their home countries, thereby establishing tliernsel 1 J ves as potential gatekeepers for tht host country. fact, neither of these potential In solutions appears worthy of support. The people who are functioning as gatekeepers for the agri- cultural institute were not predominantly foreign-educated (Figure 4). Proportionately, gatekeepers have fewer foreign degrees than do nongatekeepers. Foreign education does not appear to be an effective strategy for creating gatekeepers. Employment in however, quite effective In this regard. research in another country is, A very high proportion of the gatekeepers (R9.3 percent) were either employed by a foreign agency or firm nr visited another country to vrark on a sabbatical or research fellowship. This finding seems quite reasonabU:. Far more enduring relationships can be established during post-graduate research than during the educational process. government wishing to er.tablish foreign communicotion channels A would, therefore, be well advised to support the graduates of its own universities for short periods of work abroad, rather than to support foreign education. The effectiveness of foreign visits in promoting communication is, naturally, a decaying function of the time since the last visit (Figure 5). Unless given an opportunity to renew acquaintanceships, a person's level of foreign communication will from the present data, scientists, should be encouraged to participate to ten years. steadily decline with tine. wlio in Judging are to function as gatekeepers, foreign sabbaticals every five international conferences certainly have a potential offsetting this decline. for Just how effective they are in maintaining these M- communicatlon channels remains to be determined. When it comes to the question of employing foreign nationals the recipient country, the situation is somewhat different. in While international transfer of technology is fostered by enabling talented researchers to undertake periods of foreign research employment, the reverse process seems to work poorly. by the recipient country That Is, foreign nationals employed a research capacity have not become gatekeepers in r] for international transfer of technology (16). Even the many foreign personnel who display all the other qualities applicable to the gate- keeper (authorship of many papers, Ph.D., foreign employtnent, substantial foreign correspondence, and frequent attendance at foreign scientific conferences) do not communicate with a sufficient number of colleagues within the country tc qualify themselves as gatekeepers. Although they have successfully established the requisite network of external contacts, they seem unable to construct the internal network and therefore fail to function effectively as gatekeepers. This most certainly does not imply that their direct contribution to the nation is at all small. The foreigners in the sample are very productive scientists, and are undoubtedly making a very large direct contribution to the Irish economy. in a gatekeeper capacity. They are merely not functioning That role, it appears, is reserved for the native-born scientists. The reasons for this failure to develop an internal network ©ven when an extensive external network has been put together are not entirely clear. The ten researchers of other nationality in our sample have been employed by the agricultural institute a fewer number of years on the average than the gatekeepers or the other Irish researchers. Gatekeepers, on the other hand, have been employed slightly longer than their colleagues. BY CHKD. BY SHEET NO JOB NO DATE.. DATE.. ^T X ! o I ^ S -^ 10 ye/f£s s/f^cE j/^sr 0—e & G ij o u^a/^/>^//^^ > ^O /S' v/s/t OF. 16- The shorter average duration of employment might well explain the fact that no foreigners appear among the communication stars. fact we suspect that a more general In Cn the average, the longer an Tal untais the greater communi Celt ion is mechanism is operating. Irishman has been employed by An Foras the number of colleagues who choose him for and, therefore, the wider his internal network becones. The foreigner, on tht ottier hand, does not seern to be able to increase his range of contacts with tii-ne (Figure 6). The foreigner requires much longer to become integrated into the nation's technical network. communication Foreigners heve been employed by the institute up to six years, but still do not show a degree of integration comparable with Anyone hoping tc rely upon foreign nationals for that of the natives. the gatekeeping function should be blessed with great patience. CONCLUSIONS AND IMPLICATIONS The existence of international technological gatekeepers as inter- mediaries in the technology transfer process has now been clearly derronst rated. The international gatel.eepers display characteristics which are very similar to those found in American R&D laboratories. They are, on the average, technically more competoni and more productive. They regulcrly read a large number of technical publications and hold a Ph.D. degree significantly more frequently than their colleagues. The international gatekeeper^ ability to keep abreast of foreign technological developments is an important asset for every small country. The gatekeeper mechanism is not only an effective way for a country to import technological information, but inexpensive way as well. it would appear to be a relatively The cost of allowing a gatekeeper to maintain SHEET NO JOB NO .DATE.. .DATE.. I / - 3 G <f /Z- OF. his foreign contacts through in light of th(5 periodic travel benefits tc be derived. certainly not the copiplete answer to al quite small, whtn viewed is The getokeeper phenomenon is of the I srnol Put an undorstcinding of this process coupled with ? itilize I upon it Ittle costs tr; Ci>rtainly bo \/ill th- in a in in v/i I i I ngnoss to Ccp- this dirnctior, with indicates that the gatekeeper develops hi? most effoctivoly through active research experience (,T>nt.>cts Coing rosearcti foreigr. ccuntn/. fective long step n.>tIor.. The present evidunco '.xtern.il ri nation's prohlotns. I another country in is rriore ef- estaljlishinq corrmun cat on with foreign scientists than is i i university attendance, tablished during more enduring re! ^lucfl .jt ionshi i ps seer'i to be es- year of postgraduate research than are established ci curing several years of education. The implications of these results are unambiguous. transfer of technology is to open those channels through which In educated research personnel dcrriost ical ly research abroad. It international i information flows most effectively. order to foster increased information flow able, If to be fostered, the small nation should seek a country should assist in getting grants to dc should encourage researchers to take foreigr. sabbatical; fellcwships and other forms of extended foreign technical experience. It should not, however, spend rroney directly on foreign education for its personnel. Foreign research emf) loync-nt and other forriis of foreign technical experience greatly increase an individual's ability to fill international technological inlernat In ion.il the role of gatekeeper and thus improve channels for communications. Foreign education, per se , does not. addition, the nation should recognize that gatekeepers are an efficient r-^chani their role. srn f(r trcinsfer and it should help them to perform This can be done first of al I by helping tliem to maintuin 19- existing contacts ihrouph foreign travel. A second possibility is suggested from observation of gatekeeper functioning in AnPTican research (20). Analysis h?s shown that n sotne U.S. I ijbcrcitories laboratories thtre has developed, quite spontaneously, a rather extensive and very cohesive networks of gatekeepers. These networks are generally confined to a single technical specialty, but often overlap and can include of several specialtiv;5 in a mt rnhers single network, depending upon circumstances. This clustering of gatekeepers into a network enhances their functic.ning considerably. Information ccn now enter through a single gatekeeper, and eventually reach almost any person needing it cftcr being transmitted along the gatekeeper network. now has not a single worl d-at- arge, I i The average scientist or technologist nterniedi ary functioning between himself and the but an entire network of intermediaries. The probability of closing the path between information scurco and user is thereby increased by a considerable arnount. A small country could, with little effort, emuh^te this example and attempt to establish internal networks anonq its gatekeepers. This would most certainly enhance its ability to import the needed technology for economic development. REFERENCES 1. For reviews of such studies over the past ten years see the chapters on "Information tleeds and Uses in C. Cuadra (ed.) Annual P'leviev,' of through IV. For a Inforaiotion Science and Technology , Vols. theoretical nrjdel describiny just how the process occurs, see T.J. Information , Al len Managing the Flow of Scientific and Technological report to the Office of Science Information Service, National Science Foundation, I9G6. I 2. T.J. Allen, The performance of information chc^nnels in the transfer ndustrial Management F^.eview , 8, 1965; L.H. Berul , of technology. M.E. Filing, A.'Karson, A.B. Shafrity and H. Sleber, De partmont of Defense User Needs S tudy, Anerbach Corp. 1965; A.F. Goodmcn, J.D. Hodges, Jr., B.W. AnT^alet and i-:.Q. McCord, POD User needs Study Phase II, Nortt) American Aviation, Inc. Autonetics Division, 1966. I , 3. T.J. Allen, Performence of information channels in the transfer of Industrial ^lanageirient Review, 8^, 1966; C.W. Shilling technology. and J. Bernard, Inform al Communication At.ion g Bio- scientists (Report Georgo Washington University Biological No. I6A) Washington B.C.: Communications Project, 1964; T.J. Allen, The Use of Information Channels in R&D Proposal Preparation (Itorking Paper i^lo. 97) Cambridge M. I.T. Sloan School of Management, 1964; N.R. Baker, J. Siegmann and A.H. Rubenstein, The effects of perceived needs and means on the generation of ideas for industrial research and development projects. IE EE Transactions on Engineering Management 14, I960. 4. For an extensive theoretical discussion of this problem see, D. Katz and R.L. Kahn, The Social Psychology of Organ isations New York: v/I 5. ley 1966, Chapter "3. Allen and S.I. Cohen, Information flow Administrative Scienc" Quarterly, K, 1969. T.J. T.J. Allen, Network analysis 1970 (in press) 7. 8. R^.D P&C laboratories. laboratories, Diffusion of Innovations , New York: E.M. Rogers, J.S. ODieman, E. Process , New York: 9. in in and li. flenzel. Medical Bobbs Merrill, 1966. !(at2, R.'. D [^anagenent The Free Press, Innovatiop: A Pi f 1965. fu sion B. Berelson, and h. Gaudet, The People's Choice , P.F. Lazarsfeld, "The Two-Step Katz, E. Duel I, Sloan, end Pierce, 1948. fjew York: Flow of Communication", in W. Schremm (Ed.), r'as s Communication , University of Illinois, 1960. 2nd ed. Urbana, Illinois: 10. Foreign born scientists are considered specially and treated later part of +hf,: paper. 11. M. i I/. , Woods, strati on, Research in Ireland , Dublin: in a Institute of Public Adfiin- 1969, Communication stars are operationally defined as individuLls with nunber of branches entering their nodes (communication choices by a (references continued) colleagues) equal to or greater than one standard deviation above the mean number of entering nodes for the sample. 13. They regularly read a greater number of domestic journals as well. 14. T.J. Allen, Roles in technical communication networks. D.K. Pollock and C. Nelson (eds.) Communication Among Scientists and Technologists Heath (in press.) Lexington: 15. Gatekeepers are operationally defined as communication stars who also have either engaged in correspondence with research workers in other countries or have attended foreign conferences to a degree greater than the mean for the sample. 16. H.M. Blalock, Social Statistics, New York: McGraw-Hill, I960. 0CT6 AUfiatli 0,0.0,' Date Due JMf. ^'^ Boofcbinding Co., inc. 100 Cambfidee I CharlMtown, St. MA 02129 V^'7^ iiii''"''ii''i'i'ii'i'''''i'fliillllllll 3 TOSD DD3 TDb EDO 3 TDfiO 003 fl75 Sbl H(,%-70 IIIIIIIIIIIIIIIIIIIIIUIIIIIilllllliillilllllllllllllMIIIMIIII 3 TOfiO 003 fi7S STS q6<1'-70 3 1060 003 TOE 5S5 3 1060 003 10b 531 iillilll H7Z-70 3 1060 003 675 EbM 3 1060 003 875 1/71-70 55| pn'-z-yo 3 1060 003 10b 541 --'° iiiiiii'^ilffir^fiii 3 1060 003 675 bD3